HANKS KENNETH R 4
4 · SWS GROUP INC · Filed Aug 26, 2009
Insider Transaction Report
Form 4
Transactions
- Small Acquisition
Common Stock $.10 Par Value
2009-06-30+347→ 5,719 total(indirect: 401 (k)) - Award
Deferred Compensation Phantom Stock
2009-06-30+17→ 1,168 totalExercise: $0.00→ Common Stock $.10 Par Value (17 underlying) - Award
Common Stock $.10 Par Value
2009-08-24+3,654→ 40,808 total - Tax Payment
Common Stock $.10 Par Value
2009-08-24−419→ 40,389 total - Tax Payment
Common Stock $.10 Par Value
2009-08-25−743→ 39,646 total
Holdings
- 15,055(indirect: By IRA)
Common Stock $.10 Par Value
Footnotes (3)
- [F1]Restricted Stock Grant
- [F2]Shares withheld for tax liability by withholding vesting of securities under restricted stock grant.
- [F3]Shares of deferred compensation phantom stock become payable in common stock on a 1-for-1 basis upon the reporting person's termination of service with the Issuer or at the election of the reporting person during a sixty (60) day period commencing immediately after the first day of any plan year at least four (4) years after the deferral.